Representation of Securities Professionals in FINRA/SEC Investigations and Enforcement Proceedings
FINRA/SEC Investigations And Enforcement Proceedings
Mr. Betts represents brokers in connections with FINRA enforcement proceedings, including investigations, examinations and disciplinary actions. This includes representing brokers in responding to FINRA requests for documents and on-the-record interviews (“OTRs”) during which brokers are required to appear and testify under oath. Some of the common subjects of FINRA enforcement proceedings include:
Forms U4/U5 – Late filing, failure to file and filing of false, misleading or inaccurate forms or amendments
Michael J. Betts LLC represents clients in commercial litigation and securities litigation matters in federal and state courts in Pittsburgh and throughout Western Pennsylvania. Michael J. Betts also provides mediation and other ADR-related services in connection with commercial litigation, securities litigation, and FINRA arbitrations.